Our Broker/Dealer

Our Broker/Dealer

Our Broker/Dealer

What is a Registered Investment Adviser–broker/dealer?
A Registered Investment Adviser–broker/dealer is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose a broker/dealer to partner with on your behalf.

Why Commonwealth Financial Network®?
As the nation’s largest privately held Registered Investment Adviser–independent broker/dealer with $1.233 billion in annual revenues*, Commonwealth has the scale, stability, and resources to help us deliver the solutions our clients need. With a staff of more than 850, Commonwealth helps approximately 1,778 independent advisors* serve their clients and manage total account assets of approximately $156 billion.*

The fact that we’ve chosen to work with Commonwealth means that our firm remains independent and free to act in your best interest, without any pressure to promote proprietary products or strategies. It’s a model that differs from that of some other, larger financial firms whose financial representatives are accountable not just to their clients, but also to the parent company that employs them.

Commonwealth is also independently owned and managed, which means the firm retains the freedom to allocate resources where they’re needed and to act in the best interests of its financial advisors and their clients—not shareholders.

How Commonwealth helps us help you
Commonwealth goes far beyond what’s required of a broker/dealer; the entire organization is built around doing whatever it takes to satisfy not only the advisors who work with the firm, but the clients of those advisors as well. It’s that infrastructure—and the always expanding wealth of resources it provides—that makes it easier for our firm to provide you with the best possible guidance and the prompt, personal service you expect and deserve.

Investment choice. Commonwealth offers us robust, independent market research and a wide universe of third-party investment options—from individual stocks and bonds to mutual funds, exchange-traded funds, alternative investments, managed accounts, and retirement plans. Our access to Commonwealth’s expert, impartial guidance and a diverse range of products helps ensure that we remain free to operate in your best interest and to make recommendations based on your financial objectives, personal investment style, and risk tolerance.

Service. The firm's advisor-to-staff ratio is one of the best in the industry. This means staff members answer our calls promptly, execute transactions quickly and accurately, and, in general, offer our firm the same first-class treatment we strive to give you.

Technology. Commonwealth's technology platform is a critical component in our ability to provide you with first-class service and support. Its integrated web-based systems allow us to more efficiently manage your portfolio and your overall financial picture.

Security. Commonwealth is second to none in its commitment to safeguarding your privacy and ensuring that your investment data remains secure. From encryption standards to disaster recovery plans and other measures the firm employs, we are confident that the information our clients entrust us with will remain secure.

Committed to helping those in need
Commonwealth’s commitment to service does not end with its advisors and their clients. For more than three decades, the firm has been dedicated to serving the communities where its employees and affiliated advisors work, live, and visit. Commonwealth Cares, a 501(c)(3) charity, was formed in 2010 to maximize the impact of those efforts. The foundation’s mission is to provide contributions of time, talent, and financial support to a wide range of philanthropic efforts aimed at relieving human suffering, promoting social and economic growth, and sustaining and protecting our planet’s resources. That kind of dedication to the greater good is just one more reason we’re proud to be affiliated with Commonwealth.

If you'd like to know more
We'd be glad to talk with you further or answer any questions you may have about our affiliation with Commonwealth. Please feel free to give us a call.

*As of 12/31/17

This communication is strictly intended for individuals residing in the states of AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, IN, LA, MA, MD, ME, MI, MN, MO, MT, NC, NE, NH, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI. No offers may be made or accepted from any resident outside these states due to various state regulations and registration requirements regarding investment products and services. Investments are not FDIC- or NCUA-insured, are not guaranteed by a bank/financial institution, and are subject to risks, including possible loss of the principal invested. Securities and advisory services offered through Commonwealth Financial Network®, Member FINRA/SIPC, a Registered Investment Adviser.